1. Research Administration Forum Research Administration Forum February 17, 2015

2. Agenda  Uniform Guidance Update – Dick  Miscellaneous Federal Topics – David (in absentia)  Division Approval Form Revisions - Dick  Property Management Presentation Series – Ted  CardQuest Update - Muriel

3. Uniform Guidance Dick Seligman

4. UG Update December 19, 2014. OMB issues UG as an “Interim Final Rule.” Includes implementing regulations of all of the federal grant-making agencies. OMB has only approved exceptions that were based on statutes or long-standing agency policy. Examples: UG says that cost sharing is not anticipated. DOE requires 20% cost sharing on most research projects. This is required by DOE legislation.

5. Applicability of the Uniform Guidance Some agencies, e.g., NSF and NIH, apply the UG to new awards and to funding increments on existing awards. DOD (including the Army Research Office, the Air Force Office of Scientific Research, and the Office of Naval Research) will apply the UG to new awards only. Existing awards, whether modified or not, remain subject to the “old” OMB Circulars.

6. Uniform Guidance Requirements Subawards always require prior approval; additional approval is required to issue fixed-price subawards. FP subawards cannot exceed $150,000. Long-term visa costs are not allowable Participant support costs now recognized across all agencies

7. Uniform Guidance Requirements (cont.) Prior sponsor approval is required if PI will be disengaged from the project for more than 90 consecutive days Cost sharing is not expected on research projects Administrative and clerical costs may be charged as direct costs (4 specific requirements must be met)

8. Agency Implementations of the UG

9. Agency Implementations of the UG (cont.)

11. Caltech Implementation of UG OSR will flag all UG-covered awards in financial system –Lookup under Award/References link within PTA query screen – if there is a value “Uniform Guidance – Yes”, that is award is under the UG

12. Caltech Implementation of UG (cont.) If a PI will be on leave for more than 90 consecutive days and will continue to meet original project commitments, no sponsor approval is necessary, provided: –The award is under the Uniform Guidance; –Leave begins after effective date on which award falls under the UG (date is available under references link of PTA Query screen); –Application for Leave of Absence form indicates that PI will remain “engaged” during absence (Part 2, Section D).

13. Miscellaneous Federal Topics David Mayo (in absentia)

14. Grants.gov Will be down Sat., 2/14/15 to Tue., 2/17/15 AM; see NIH revised deadlines announcement Use of unicode characters in open text fields will be accepted beginning 2/17/2015

15. National Science Foundation Format validations - FastLane will not allow submission if format is incorrect: page counts, budget thresholds, and proposal components. FastLane Notifications and Requests – migrating to Research.gov in March 2015 Clarification of 2-month rule - solely a proposal limitation; PIs may be paid more than 2 months provided funds are available and there is no change in scope NSF Proposals –Project Description must now include a section called “Broader Impacts of the Proposed Work”

16. NSF (cont.) –Biosketch now requires information on individual’s undergraduate, graduate and postdoctoral institutions –All travel must now be justified, not just foreign. –May add 3 pages of budget justification for each subaward –Costs for meals/coffee breaks not allowable for intramural meetings –Reminder that NSF does not permit cost sharing unless program announcement specifically allows it. This includes PI effort and overhead waivers

17. National Institutes of Health New Biographical Sketch format for applications due on or after 5/25/2015 (NOT-OD-15-032) Salary Cap has increased from 181,500 to $183,300 effective 1/11/2015 (NOT-OD-15-049) NRSA zero level stipend for FY2015 increases from $42,000 to $42,840 (NOT-OD-15-048) NIH deadline adjustments for Grants.gov outage (NOT-OD-15-057) Interim grant conditions issued for UG compliance

18. Division Approval Form Revisions Dick Seligman

19. Division Approval Form Revisions Current edition of the DAF is 3-2013 Several Revisions are in Process Section F. Financial Interests –Additional Item: I, the PI, certify that I have completed my annual Conflict of Interest Disclosure for this year, and have updated it as necessary.

20. Division Approval Form Revisions (cont.) Section G. Research Compliance –Revision of item 3: Does the proposed research involve recombinant or synthetic nucleic acids, infections agents, viral vectors, transgenics, CDC/USDA select agents, or toxins? Addition of item 4: Does the proposed research involve human stem cells? If yes: The stem cells are derived from [ ] stem cell lines or [ ] primary cells.

21. Division Approval Form Revisions (cont.) Section H. Certification, Approvals, an Signatures I, a Principal or co-Principal Investigator on the described proposal, hereby certify: (1) that the information submitted within the application is true, complete and accurate to the best of my knowledge; (2) that any false, fictitious, or fraudulent statements or claims may subject me to criminal, civil, or administrative penalties; and (3) that I agree to accept responsibility for the programmatic conduct of the project, to provide the required progress reports if an award is made as a result of the application, and to otherwise abide by my obligations under the relevant award, including those relating to confidential information.

22. Division Approval Form Revisions (cont.) When the next edition of the DAF is ready for use, we will notify the Grant Managers and Division Administrators. In the meantime, please continue to use the 3-2013 edition.

23. Property Management Presentation Series FY2015 Ted Lieu

24. Property Management- Presentation Series: 1-The Equipment Inventory Process March 18, 2015; 1:30 pm to 2:30 pm; Crellin 151 2-Equipment Fabrications & Deliverables: Part 1-General Information April 14, 2015; 1:30 pm to 2:30 pm; Crellin 151 3-Equipment Fabrications & Deliverables: Part 2-Government Owned May 2015 ; Day, Time & Location TBD 4-General Caltech Policies and Practices June 2015; Day, Time & Location TBD

25. Property Management Presentation 1- The Equipment Inventory Process: Purpose Inventory process Final Inventory Report Special considerations Areas of concerns When: March 18, 2015; 1:30 pm to 2:30 pm Where: Crellin 151

26. Property Management Presentation 2- Equipment Fabrications & Deliverables: Part 1 - General Information Definition Chargeable costs Fiscal implications Life cycle and process Special considerations Problem areas When: April 14, 2015; 1:30 pm to 2:30 pm Where: Crellin 151

27. Property Management Presentation 3- Equipment Fabrications & Deliverables: Part 2 – Government Owned Regulatory compliance Life cycle and process Self-Assessment requirements Implications of non-compliance Areas of concern at Caltech When: May 2015; Date & Time TBD Where: TBD

28. Property Management Presentation 4- General Caltech Policies and Practices New Property Services Manual Property Management Cycle Roles, Responsibilities, and Expectations Self-Assessment Requirements Documentations Audits When: June 2015; Date & Time TBD Where: TBD

29. Property Management Presentation Series If you would like to attend any of the presentations in this series, please RSVP via email to: Lorianne.Bowers@caltech.edu

30. Muriel Marroquin

31. Traveler’s Name Field List of Values Name Format Description ProfileP-Card Last Name, First Name Traveler with NO CardQuest Profile and NO P-Card (i.e. non-Caltech employees and some students) zxLast Name, First Name Traveler with a CardQuest Profile but NO P-Card zzLast Name First Name Traveler with a P-Card and a CardQuest Profile

32. Expense Types Expense Types identify a commodity type by grouping them into parent/child categories Audit rules and policies within CardQuest are driven by these Expense Types Example: Other-Gifts/Awards; Entertainment Always select the most appropriate Expense Type Examples:

33. When is a Traveler’s Signature Required? A Traveler’s signature is required when you are preparing a Travel Report in YOUR profile for someone else If you are submitting on behalf of someone else, you do NOT have to have the Traveler sign –To qualify, your Traveler must fill out the Certification of Delegation of Expense Report Submission –This form is only applicable to Faculty Attach the signed Report to the first Expense line of the Travel Report

34. Reconciliation & Receipts *FAR Regulation 4.703 Policy (3) The contractor or subcontractor retains the original records for a minimum of one year after imaging to permit periodic validation of the imaging systems. FAR Regulation 4.704 Calculation of retention periods (a) The retention periods in 4.705 are calculated from the end of the contractor’s fiscal year in which an entry is made charging or allocating a cost to a Government contract or subcontract Report TypeWhen to SubmitReport Name*Receipts Goods & Services 1 Report per month on Reconciliation Day Month, Year (i.e. February 2015) Travel1 Report at the end of the trip Travelers Last Name; Trip Start and End Date; Destination City (i.e. Marquez 1/1/15-1/5/15 San Diego) Blue Envelope – 1 trip per Envelope

35. Profile Updates Personal Information – Verify Work Phone Expense Information – Verify Default PTAs & Department Code

36. P-Card Commitments Available in the Cognos PTA Cost Details – Export CardQuest expenses commitments are expenses allocated to PTA(s), but not yet interfaced and reflected as actual expenses in Oracle Commitments appear in Cognos 2 days after allocation is made: 1 overnight to CardQuest’s Business Intelligence plus 1 overnight to Cognos

37. Relocation Reminder Do not use a P-Card to pay for Relocation expenses CardQuest cannot accommodate Relocation reimbursements Questions? Contact the following for Relocation assistance:  Jennifer Palmer – Faculty  Tara Kruckeberg – Staff

38. Slides will be available at our website: ResearchAdministration. Thank you for attending!